----------------------- Page 1----------------------S e c t i o n T h r e e Information for Undergraduate Students 128 Undergraduate Information ----------------------- Page 2----------------------The undergraduate program leads to a four-year Bachelor of Science degree. Admitted students matriculate in the fall term only. Caltech does not have a summer session or part-time program and cannot consider you if you already have a bachelors degree from another college, university, or the equivalent. If you have matriculated at any college, university, or the equivalent in a program leading to any degree, you will probably be required to apply as a transfer student and should read the requirements in the section titled Transfer Admissions. ADMISSION TO THE FRESHMAN CLASS Students are admitted to the freshman class on the basis of strong academic performance in a rigorous course of college preparatory study, especially in the areas of math and science; results of the SAT or ACT, and one SAT science subject test and the SAT mathematics level 2 test; teacher and counselor evaluations; personal characteristics; a demonstrated interest in math, science, or engineering; and information provided on the application. Applying Information on the application process can be found on the admissions office website at http://www.admissions.caltech.edu. Students are encouraged to apply online through the Common Application. For further information on admission, please call (626) 395-6341 or e-mail ugadmissions@caltech.edu. To be considered for admission, applications to the freshman class must be submitted online or postmarked by January 3. Early Action The Early Action application process requires that the completed application be postmarked or submitted online by November 1. Under this application plan, students will be notified in midDecember of the admission decision. Students admitted under Early Action have until May 1 to make their commitment to attend. High School Requirements Students are expected to prepare for Caltech by successfully completing the following curriculum: Four years of mathematics (including calculus) One year of physics One year of chemistry Three years of English (four years recommended) One year of U.S. history/government (waived for international students)

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Freshman Admission ----------------------- Page 3----------------------Standardized Exams Applicants are required to take the following standardized tests by the October test series for Early Action consideration, and by the December test series for Regular Decision consideration: SAT or ACT T mathematics level 2 SA One of the following SAT subject tests: Biology, Chemistry, or Physics Information regarding the College Board examinations can be found in the Bulletin of Information, which may be obtained without charge at most high schools, or by contacting the College Board, 45 Columbus Avenue, New York, NY 10023-6992; (609) 771-7600; sat@info.collegeboard.org; or http://www.college board.com. For ACT, 500 ACT Drive, P.O. Box 168, Iowa City, IA 52243-0168; (319) 337-1270; http://www.act.org. Essays The essays, which are required as a part of the application, are intended to provide students the opportunity to communicate their interests, experiences, and background. Since Caltech is interested in learning about each applicant, the essays are viewed as an important part of the admission decision process. Evaluations T wo evaluations and a Secondary School Report are required. One must be from a math or science teacher, and one from a humanities or social science teacher (see the instructions in the application). s A Secondary School Report must be filled out by the applicant high-school counselor or other school official. Additional Material Descriptions of research projects and hands-on science and engineering experience are helpful, as is material that demonstrates experiences outside math and science. Additional material should be identified with name and date of birth. Acceptance Caltech is a National Association for College Admissions Counseling member and therefore agrees to comply with the candidates reply date of May 1. Places in the entering class will not be held after May 1. Early Action applicants will be informed of their status in mid-December, and Regular Decision applicants will be informed by April 1. Deferral of Entrance For reasons of travel or work, Caltech will consider requests from admitted students for a one-year deferral of entrance. Students who request a deferment must submit a written request stating the purpose of postponement.

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Undergraduate Information ----------------------- Page 4----------------------Advanced Placement, International Baccalaureate, and College Credit Caltech encourages all prospective undergraduate applicants to prepare by challenging themselves with the most rigorous course of study available, including the Advanced Placement (AP) and International Baccalaureate (IB) programs. However, college credit for AP or IB classes is not automatic. Course credit and/or placement in an accelerated program is sometimes granted as deemed appropriate by the department faculty. The awarding of Caltech course credit takes place at the time of registration each fall. Biology Biology majors who have passed Bi 8 and Bi 9 are considered to have met the core requirement of Bi 1. Chemistry For those students who qualify for advanced placement in chemistry, the Institute requirement of 15 units of Ch 1 ab can be satisfied by completing with passing grades two terms of (i) Ch 21 abc (9 units each term), or (ii) Ch 41 abc (9 units each term). The students qualifications for advanced placement in chemistry will only be determined by the performance on a placement examination to be administered in the summer prior to registration. Similarly, qualified students, with the instructors consent, are allowed to substitute either Ch 8 or Ch/ChE 9 for the core chemistry laboratory requirement (Ch 3 a). English/Writing All incoming students (freshmen and transfers) must submit a placement essay to determine whether they are adequately prepared for the substantial writing component that is part of all freshman humanities courses. Most new students participate in a web-based version of this assessment, which is usually conducted in early June. A makeup assessment is held just before fall classes begin. Based on results of this writing assessment, students may be required to take En 1 a or En 2 before enrolling in a freshman humanities class. (En 1 ab and En 2 count for general Institute credit only.) During the first week of classes, students will be required to produce an in-class writing sample to confirm the initial placement. Mathematics During the summer before the freshman year, entering freshmen are asked to take a diagnostic exam in basic calculus that will determine which students will be placed in a special section of Ma 1 a for those with less complete preparation, and later take Ma 1 d; and if they are interested in advanced placement, they may also take an examination to determine whether they will begin the mathematics core sequence at an advanced level. Freshman Admission ----------------------- Page 5----------------------Normally, an entering freshman takes Ma 1 abc, Calculus of One and Several Variables and Linear Algebra. This course covers

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the calculus of functions of one and several variables; infinite series; vector algebra; basic and advanced linear algebra; derivatives of vector functions, multiple integrals, line and path integrals; and theorems of Green and Stokes. The course is divided into a lecture part and a recitation part that focuses mainly on problem-solving. Students in need of additional problem-solving practice may be advised to take Ma 8 (in addition to Ma 1 a) in the first quarter. Physics The required freshman physics course, Ph 1 abc, is considerably more rigorous than most advanced placement work, and entering freshmen are encouraged to take Ph 1. A test is administered during the summer to aid in the organization of Ph 1; students who have performed particularly well can discuss the possibilities for advanced placement with the physics representative during orientation. A second test may then be required. 132 New Student Orientation All freshmen and transfer students are expected to attend the New Student Orientation as a part of the regular registration procedure. The orientation takes place the week prior to the beginning of classes. A large number of faculty members and upperclass student leaders participate, helping to introduce the new student to the Caltech community. The orientation period provides an opportunity for the new student to become acquainted with the campus, the Honor System governing personal conduct, and other aspects of life at Caltech. In addition, he or she can meet classmates, upperclass students, and faculty. Thus the new student can begin to feel at home at Caltech and to share in the common agreement on intellectual and moral standards before the pressure of academic work begins. ADMISSION TO UPPER CLASSES BY TRANSFER Transfer Admissions Caltech admits transfer students for the fall term only. We require a completed application, letters of recommendation, an official transcript from the last secondary school attended and all colleges or universities attended, descriptions of all college-level math and ransfer Entrance science courses, and completion of the Caltech T Examinations. Please review the section titled Eligibility Criteria for Admission to determine whether you meet the eligibility requirements for transfer admissions consideration. Undergraduate Information ----------------------- Page 6----------------------Academic Preparation The following is a list of the Caltech core curriculum, taken by all Caltech students during their first two years. It is expected that transfer students will have had exposure to mathematics and science courses on a comparable level prior to entry to Caltech. Any of the following core courses that have not been covered by incoming transfer students must be taken upon matriculation to Caltech. There are no specific topics expected to have been covered in humanities and social science classes.

An evaluation of each transfer students written English is required prior to registration and may result in an additional course requirement. Freshman courses: Mathematics 1 abc Physics 1 abc Chemistry 1 ab Chemistry 3 a or 3 x Biology 1, 1 x, 8, or 9 Humanities and Social Science electives Menu science class (see page 182; can be taken freshman or 133 sophomore year) Sophomore courses: Mathematics 2 ab Physics 2 ab or Physics 12 abc Additional laboratory science Humanities and Social Science electives Eligibility Criteria for Admission The Institute admits to its sophomore and junior classes a small number of students who have excellent records at other institutions of collegiate rank and who perform satisfactorily on the Caltech Transfer Admissions Entrance Examinations. Students must have completed their secondary school education, and have subsequently enrolled at a college or university and earned credit, in order to be considered for transfer admission. Transfer students are not admitted to the senior year at Caltech. Students who have already completed a bachelors degree in any subject are not eligible for transfer. Standardized Test Requirements Transfer applicants are not required to submit SAT scores. The est of English as a Foreign Language (TOEFL) is required of T transfer applicants whose native language is not English and who have not been studying in an English-speaking country for two years or more. The TOEFL should be taken by the February test date. Admission to Upper Classes by Transfer ----------------------- Page 7----------------------Evaluation of Written English All entering transfer students will be required to undergo an evaluation of their written English prior to enrolling. Transfer Admissions Entrance Examinations All applicants are required to take Caltech Transfer Admissions Entrance Examinations in mathematics and physics. Further ransfer Application. instructions are included with the Caltech T ransfer of Credit T The courses for which transfer applicants will receive credit, and the corresponding class standing, will be determined at the time of

enrollment. Faculty members review each course submitted for credit on an individual basis. It is not possible, therefore, to answer questions regarding the acceptability of course work taken elsewhere. If the standard of work taken elsewhere is uncertain, additional examinations may be required before the question of credit is finally determined. Graduation Requirements Admitted transfer students must meet the following requirements 134 in order to receive a Caltech Bachelor of Science degree. Regardless of the amount of credit awarded upon matriculation, transfer students must spend at least two years (six terms) in residence at Caltech. Students must also earn at least 216 units at Caltech, not including courses taken to satisfy math and science core curriculum requirements. Students must take, or have taken the equivalent of, all core curriculum courses. Students must satisfy all of their chosen options degree requirements. Transfer students may choose from among all Caltech undergraduate options. Admissions Application Applications are available September 1. Completed applications should be received by the Office of Undergraduate Admissions by February 15. Applicants will be notified of the decisions of the Admissions Committee in early May. Information on the application process can be found on the admissions office website at http://www.admissions.caltech.edu. Students are encouraged to apply online through the Common Application. For further information on admission, please call (626) 395-6341 or e-mail ugadmissions@caltech.edu. The 3/2 Dual Degree Plan Caltech invites students from a select to transfer to Caltech upon completion two years in residence at Caltech, and our requirements, 3/2 students will be Undergraduate Information ----------------------- Page 8----------------------Science degree from Caltech and a second bachelors degree from their liberal arts college. Students may transfer into any of the Caltech options. Students from the following institutions are eligible to apply to the 3/2 program: Bowdoin College (ME) Bryn Mawr (PA) Grinnell College (IA) Haverford College (PA) Mt. Holyoke College (MA) Oberlin College (OH) Occidental College (CA) Ohio Wesleyan University (OH) Pomona College (CA) Reed College (OR) Spelman College (GA) Wesleyan University (CT) Whitman College (WA) group of liberal arts colleges of their junior year. After the successful completion of granted a Bachelor of

Applications and a program description are available from the 3/2

liaison at each of the liberal arts college partners and from the Caltech Office of Undergraduate Admissions. The deadline for submission of 3/2 applications and support materials is April 1. Admission to the 3/2 program is not guaranteed and will be determined by the Caltech Faculty Upperclass Admissions Committee. Students applying should have a record of superior academic achievement at their home institutions, and strong letters 135 of recommendation from their 3/2 liaison and an additional faculty member. They must have completed a minimum of one year of calculus-based physics and mathematics (two years are recommended), including multivariable calculus and differential equations, and one year of chemistry. Exchange Programs Exchange programs exist with Occidental College and Art Center College of Design, permitting Caltech students to receive credit for courses taken at these colleges. Students from these colleges uition also may receive credit for courses taken at the Institute. T payments are not required, but the student may have to pay any special fees. The student must obtain approval from the instructor of the exchange course. Exchange courses taken by Caltech students must have prior approval by the students option, by the division providing courses most similar to the proposed course, and by the registrar. Students wishing to take such courses should obtain the appropriate form at the Registrars Office, get the required signatures as above, and return it to the registrar. Freshmen at Caltech ordinarily cannot participate in this exchange. Visiting Student Program A limited number of students from other institutions of collegiate rank may enroll at Caltech to take classes for up to one year. These students are classified as visiting students and will not receive Caltech degrees. Applicants should have an excellent academic record and be recommended by their home institutions. Visiting Admission to Upper Classes by Transfer ----------------------- Page 9----------------------students are responsible for all costs, including Caltechs tuition and fees. Accommodations in Institute housing depends on availability. Decisions on admission are made by the dean of students office, and prospective visiting students should contact this office by April 1 to apply for fall enrollment. STUDY ABROAD Study abroad allows students to gain a firsthand experience of life in countries abroad, while also gaining a broader exposure to the sciences, engineering, economics/management, the social sciences, and humanities. Students who study abroad develop an international viewpoint that transfers to their education at Caltech and to their graduate study and future career regardless of the field they pursue professionally. Please see the Financial Aid section of this catalog for details on

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applying for and eligibility for financial aid related to study abroad. Note that supplemental charges and travel should be listed by the student in his or her financial aid budget so that these amounts can be considered when funding is calculated. Additional information, including application procedures and exact deadline dates, is available from the Fellowships Advising and Study Abroad Office at http://www.fasa.caltech.edu. Cambridge Scholars Program The Caltech Cambridge Scholars Program offers qualified juniors and seniors the opportunity to spend a fall or winter term at the University of Cambridge in England. Students are hosted by and live in one of the Cambridge Colleges participating in the program. The participating colleges are Corpus Christi, Pembroke, s, and St. Johns. Students pay Caltech room, board, St. Catharine tuition, and other standard Caltech fees for the term. There may be a small supplemental charge for room and tuition. The supplement varies yearly depending on prices and the exchange rate. Students are admitted into one Cambridge department in the biological sciences, physical sciences, computer sciences, mathematics, engineering, or economics to take classes within the tripos, i.e., subject, offered by that department. Students may only take courses in one tripos unless special permission is granted, and this is usually granted by Cambridge if a student needs a course to fulfill a Caltech option requirement. Students will find more information on the tripos structure and Cambridge University in the Fellowships Advising and Study Abroad Office or at http://www.cam.ac.uk. During the term at Cambridge, students take the equivalent of at least 36 Caltech units, usually four Cambridge courses, but may take five in most cases. The exact number of courses depends on Undergraduate Information

----------------------- Page 10----------------------Cambridge departmental requirements. For their classes, students receive a minimum of 36 Caltech units that can be used for general or option credit or to fulfill other Institute course requirements. Note that the final number of units and whether the units can be used to fulfill departmental requirements will be determined after faculty review upon a students return to Caltech. Caltech students have the use of all Cambridge facilities and are matriculated into the university for the term. A minimum 3.2 GPA is required to apply. Eligible sophomores and juniors interested in either the fall or winter term should apply by the January deadline for the next academic year. Further information, including application procedures, more about Cambridge University, and exact deadline date, is available from the Fellowships Advising and Study Abroad Office at http://www.fasa.caltech.edu. Please see the Financial Aid section for details on applying for and eligibility for financial aid related to study abroad. Note that supplemental charges and travel should be listed by the student in his or her financial aid budget so that these amounts can be considered when funding is calculated. Copenhagen Scholars Program The Caltech Copenhagen Scholars Program offers qualified juniors and seniors the opportunity to spend the fall at the 137

University of Copenhagen (KU) or the Danish Technical University (DTU). At KU students may concentrate in the physical sciences, mathematics, biological sciences, or economics. At DTU students can take courses in engineering or the applied sciences as well as the sciences, e.g., chemistry, physics, and math. Students live in a modern kollegiet (dormitory) with Danish students. There is a supplemental charge for the room because the Copenhagen semester is 15 weeks long plus one week of fall vacation. The supplement varies yearly depending on prices and the exchange rate. There is no board plan, but each kollegiet has a well-equipped kitchen, and students may cook for themselves or with the other students on the hall. Aside from the supplemental room charge, all students pay standard board and tuition, but should budget additional funds for food due to the length of the semester. Note that while students pay Caltech board fees, the board fee is used to spend on food while in Copenhagen. Students can cook in their kollegiet or eat out. Caltech fees are due by the normal fall due date. Both KU and DTU are on a semester system, and Caltech students attend from around August 25 to mid-December. Students have a one-week vacation in mid-October, and many use this vacation week to travel in Denmark or Europe. DTU students attend a one-week orientation the last week of August, and students going to KU have an advising and orientation period the last week of August. Study Abroad ----------------------- Page 11----------------------Students take two to four courses in their Caltech option or a closely related subject and a course in the Danish language. Students attending Copenhagen University are required to take the course in Danish culture but may substitute or take in addition a course taught in English on subjects such as the Danish monarchy, Danish architecture, Danish film, or the Vikings, depending on what is offered that fall. Students who will be studying primarily at DTU are required to take the Danish-language course and may audit or take for credit a course in Danish culture or take one of the courses noted above. The Danish-culture course, in addition to weekly lectures, offers field trips to interesting cultural and historical sites i n the city and surrounding area. All upper-level undergraduate or beginning graduate-level courses at KU and DTU can be taught in English. More information can be found at http://www.dtu.dk or http://www.ku.dk. For this work, students receive a minimum of 36 Caltech units that can be used for general or option credit or to fulfill other Institute course requirements. Note that the final number of units and whether the units can be used to fulfill departmental requirements will be determined after faculty review upon a students return to Caltech. Students can enroll in an optional three-week-long Danishlanguage course in August. There is no charge for this course. This course is not required, but all students are required to take Danish language during the fall semester for credit. A minimum 3.0 GPA is required to apply. Eligible sophomores and juniors should apply by the January deadline for the fall semester at KU or DTU. Further information, including application procedures and exact deadline dates, is available from the Fellowships

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Advising and Study Abroad Office: http://www.fasa.caltech.edu. Please see the Financial Aid section for details on applying for and elibility for financial aid related to study abroad. Note that supplemental charges and travel should be listed by the student in his or her financial aid budget so that these amounts can be considered when funding is calculated. cole Polytechnique Scholars Program The cole Polytechnique Scholars Program offers qualified juniors and seniors the opportunity to spend the fall, winter, or spring term at the cole Polytechnique, which is located outside of Paris in the town of Palaiseau, about 40 minutes by train from Paris. Note that the winter and spring terms can only be attended in years that do not overlap with Caltech term dates and only with the permission of cole Polytechnique and Caltech. In addition, seniors may not attend the spring term if they plan to graduate in June. The cole Polytechnique (the Polytechnic School), often referred to by the nickname X, is the foremost French grande cole of engineering (according to French and international rankUndergraduate Information ----------------------- Page 12----------------------ings). Founded in 1794 and initially located in the Latin Quarter in central Paris, it was moved to Palaiseau in 1976. It is one of the oldest and most prestigious engineering schools in the world, with a very selective entrance exam. As one of the worlds foremost establishments in science education, the cole Polytechnique trains graduates who become outstanding scientists, engineers, researchers, managers, and politicians. At cole Polytechnique, students can take courses in engineering or the applied sciences as well as the sciences, e.g., chemistry, physics, and math, as these are also taught. Students can also take classes in the social sciences and humanities. Two classes must be in the students Caltech option in science, engineering, or economics and two classes can be taken in other subjects or in the students option. All classes are taught in French, and all discussions, assignments, and exams are in French. Students must have very good ability in speaking, reading, and writing French before applying for this program. Students will continue to take French at their level while at cole Polytechnique. cole Polytechnique has different academic schedules depending on the year of study. Caltech students who study at cole Polytechnique for a term (usually the fall) during their junior or senior year can only select classes from the third year of the cole Polytechnique curriculum, and all classes must be selected from this years curriculum. Note that the second-year classes are not allowed, as this year goes from the fall through January and then has a second semester versus two terms. The third-year specialized curriculum has a schedule that corresponds closely to Caltechs three-term system, and students must take all classes from the third-year curriculum. These classes are equivalent to 100-level classes at Caltech. For further information, go to this URL and scroll down to the third-year specialized education section: http://www.polytechnique.edu/page.php?MID=216. A minimum 3.3 GPA is required to apply. Eligible sophomores and juniors apply to study during their junior or senior year by the

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Caltech internal deadline, which is usually in January. Note that students must be nominated by Caltech in order to apply and cannot apply without going through the internal Caltech nomination process, which is run by the Fellowships Advising and Study Abroad Office. Only this office can provide the required nomination. Each year application specifics will be provided to sophomores and juniors in the fall. Students will be required to complete both Caltech Study Abroad Proposal and Forms and complete the cole Polytechnique application forms as well as undergoing a formal assessment of French skills by Caltechs French instructor. Please see the Financial Aid section for details on applying for and elibility for financial aid related to study abroad. Note that Study Abroad ----------------------- Page 13----------------------supplemental charges and travel should be listed by the student in his or her financial aid budget so that these amounts can be considered when funding is calculated. Edinburgh Scholars Program The Caltech Edinburgh Scholars Program offers qualified juniors and seniors the opportunity to spend the fall at the University of Edinburgh. The University of Edinburgh is on a semester system, and Caltech students attend from mid-September to mid-December. All students are required to attend a weeklong orientation held the week before classes start. All students live in university dormitories or flats, which are within walking distance from the George Square (humanities and social sciences) and the Kings Buildings (the science and engineering campus). The university operates a free shuttle bus from the George Square campus to the Kings Buildings campus. Students pay Caltech room, board, tuition, and other standard Caltech fees for the term. There is a supplemental charge for housing due to the longer length of the term. The supplement varies yearly depending on prices and the exchange rate. Students are admitted into one of Edinburghs academic departments in the College of Science and Engineering. Note that students cannot be admitted into the economics department because that is in the College of Humanities and Social Sciences, but they can take 20 credits in that department. Students whose option is BEM or economics may be allowed in an urgent situation to take 40 credits in economics in order to fulfill BEM or economics option requirements. Students take a minimum of 60 Edinburgh credits per semester and a maximum of 80 credits, but no more than five courses. Students will take a minimum of 40 credits in their option or another science or engineering subject and can take 20 credits (one course) in the College of Humanities and Social Sciences. Note that 60 credits is the standard courseload, but most Caltech students take 70 to 80 credits. Note that at least 36 Caltech units must be taken. A minimum 3.0 GPA is required to apply. Eligible sophomores and juniors should apply by the January deadline for the fall semester at Edinburgh. Further information, including application procedures and exact deadline dates, is available from the Fellowships Advising and Study Abroad Office: http://www.fasa.caltech.edu. Please see the Financial Aid section for details on applying for and elibility for financial aid related to study abroad. Note that supplemental charges and travel should be listed by the student in

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his or her financial aid budget so that these amounts can be considered when funding is calculated. London Scholars Program The Caltech London Scholars Programs offers qualified juniors and seniors the opportunity to spend the fall at University College London, which is located in the lovely Bloomsbury area of Undergraduate Information ----------------------- Page 14----------------------London. University College London (UCL) is on a semester system, and Caltech students attend UCLs autumn semester from about the third week of September to mid-December. All students are required to attend an orientation (Wednesday evening through Friday/Saturday) the week before the semester begins. All students live in a UCL dormitory, which is located a short walk or short bus ride from the academic buildings of the UCL campus. Students pay Caltech room, board, tuition, and other standard Caltech fees for the term. There is a supplemental charge for housing/board due to the longer length of the term. The supplement varies yearly depending on prices and the exchange rate. Students are admitted into one of UCLs academic departments in the physical, life, or engineering sciences and must take two UCL/30 ECTS (European Credit Transfer System) credits. Students are required by UCL to take at least 50 percent of their classes in their Admitting Department. Usually the Admitting Department is in a subject area that most closely corresponds to the students Caltech option, but there is some leeway in this provided the student has the background to be admitted to the department in question. Note that students can be admitted to two departments in the life, physical, and engineering courses and take at least 25 percent of their classes in each. However, dual admission is only available if there is a compelling reason, e.g., doubleoption students who need to fulfill a course requirement. The remaining 50 percent of classes can either be taken in the Admitting Department, another department in the sciences or engineering, or the humanities and social sciences with the exception of the English literature department, which does not admit visiting students, even those with majors in English literature. Note that there are ample opportunities to take literature courses from a number of departments that offer literature classes, e.g., Slavonic and East European studies, Classics, Scandinavian studies, European cultural studies, Hebrew and Jewish studies, French, etc. Note that these departments offer classes taught in translation and in the foreign language. A typical UCL semester class is 7.5 ECTS or 5 ECTS credits in the sciences or life sciences. In engineering subjects, a one-semester class is typically 2.5 UCL/3.75 ECTS credits. Caltech students must take 30 ECTS credits/2 UCL units during their semester at UCL. This would be equivalent to 36 to 45 Caltech units. UCL classes can be used for general or option credit or for humanities or social science credit. Note that the final number of units and whether the units can be used to fulfill departmental requirements will be determined after faculty review upon a students return to Caltech. Note that students can be admitted into the economics department as a secondary department. Such students must take at least 50 percent of their classes in their primary department in the phys-

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ical, life, or engineering sciences and at least 25 percent of classes Study Abroad ----------------------- Page 15----------------------in economics. Only students with a secondary admission to economics may take upper-level economics classes. Note that students can take up to two first- or second-year courses in the economics department without a formal dual admission. A minimum 3.0 GPA is required to apply. Eligible sophomores and juniors apply by the January deadline for the fall semester at UCL. Further information, including application procedures and exact deadline dates, is available from the Fellowships Advising and Study Abroad Office. Please see the financial aid section for details on applying for and eligibility for financial aid related to study abroad. Note that supplemental charges and travel should be listed by the student in his or her financial aid budget so that they can be considered when funding is calculated. Melbourne Scholars Program The Caltech Melbourne Scholars Programs offers qualified juniors and seniors the opportunity to spend the summer/fall at the University of Melbourne, which is located in the exciting city of Melbourne, Australia. Melbourne is on a semester system, and Caltech students attend Melbournes second semester from the second week of July to the end of November. Since Melbourne is in s first semester starts in the Southern Hemisphere, the university July and crosses over both the Caltech winter and spring terms. Therefore, students attend Melbournes second semester, which corresponds better to Caltechs fall semester. All students are required to attend an orientation that takes place at the University of Melbourne the week before the semester begins. Students live in a residence hall, which is located a short walk from the academic buildings of the campus. The hall of residence, RMIT Village, has a suite setup and offers amenities such as a 15meter outdoor swimming pool and lounge area, barbecue area, workout gym (with plasma TV, cross trainers, free weights, treadmills, exercise bikes, etc.), caf, lounge, and laundry. There is also a new e-library that offers computers and printers as well as group and individual study rooms. Students share a suite with another student (bedroom, bathroom/shower, kitchenette, living room). Students pay Caltech room, board, tuition, and other standard Caltech fees for the term. There is a supplemental charge for housing/board due to the longer length of the Melbourne semester. In some years there could be a supplemental tuition charge. The supplement varies yearly depending on prices and the exchange rate. Students take four classes at Melbourne. Each class is worth 12.5 Melbourne credit points. Of the four classes, students must take two classes related to their option at Caltech and may take up to two outside of their subject, including the humanities and social sciences. Students are eligible to take one class as a research class in an area related to their option. Undergraduate Information ----------------------- Page 16-----------------------

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The Melbourne credit load would be equivalent to 36 to 45 Caltech units. Melbourne classes can be used for general or option credit or for humanities or social science credit. Note that the final number of units and whether the units can be used to fulfill departmental requirements will be determined after faculty review upon a students return to Caltech. A minimum 3.0 GPA is required to apply. Eligible sophomores and juniors apply by the fall deadline for the second semester starting in July. Further information, including application procedures and exact deadline dates, is available from the Fellowships Advising and Study Abroad Office. Please see the financial aid section for details on applying for and eligibility for financial aid related to study abroad. Note that supplemental charges and travel should be listed by the student in his or her financial aid budget so that they can be considered when funding is calculated. ROTC 143 Air Force Reserve Officer Training Corps (AFROTC) offers threeand four-year programs leading to a commission as a second lieutenant in the United States Air Force. The AFROTC program is open to almost all students pursuing baccalaureate degrees. Classes consist of one hour of academics and two hours of leadership laboratory per week for freshmen and sophomores, and three hours of academics and two hours of leadership laboratory per week for juniors and seniors. AFROTC offers a variety of scholarships valued at up to 100 percent of annual tuition, along with a nontaxable monthly stipend. By agreement through the Air Force, Caltech students enroll in Air Force ROTC classes at the University of Southern California, California State University San Bernardino, Loyola Marymount University, or the University of California, Los Angeles. You do not need to be a student at any of these colleges to attend AFROTC on their campuses. For more information, contact the Department of Aerospace Studies at afrotcdet060@rotc.usc.edu or call (213) 740-2670 or visit http://www.usc.edu/afrotc. No military commitment is incurred until entering the junior year of the program or receipt of a scholarship after the freshman year. The Army ROTC program at USC offers four-, three-, and two-year scholarships that pay tuition costs up to $17,000 a year. In addition, the program pays all contracted cadets a stipend of $2,500 to $4,000 a year and an annual book allowance of another $600. High-school students need to apply for the four-year scholarship during the fall of their senior year, and no later than November 15. All Caltech students interested in an Army ROTC three- or two-year on-campus scholarship need to apply early in their ROTC ----------------------- Page 17----------------------spring semester, and no later than March 15, for the next academic year. Completion of the program leads to a commission as a second lieutenant in one of 17 occupational branches in the Regular Army, Army Reserve, or the National Guard. These scholarship provisions are subject to change, and interested students are encouraged to contact the Department of Military Science at the University of Southern California for further information: PED 110,

Los Angeles, CA 90098, (213) 740-1850. REGISTRATION REGULATIONS Procedures Students must register on the dates specified in the academic calendar. Students are not registered until they have both enrolled in an approved list of courses, and are current with the Bursars Office. All undergraduate students with an outstanding Bursars bill balance of $300 or more and graduate students with a Bursars bill balance of $1,500 or more will have a hold placed on their registration for the subsequent quarter the day before online registration opens. The hold will be released once students have paid their bill or worked out a satisfactory payment plan with the Bursars Office. Any student who has not completed both phases of registration within one week after the first day of classes will be removed from the Institute rolls. Students are required to maintain continuity of registration until the requirements for the Bachelor of Science degree are fulfilled, except in the case of an approved undergraduate student sabbatical. If continuity is broken by withdrawal, reinstatement is required before academic work may be resumed. Changes in Registration All changes in registration must be reported to the Registrars Office by the student prior to the published deadlines. A grade of F will be given in any course for which a student registers and which he or she does not either complete satisfactorily or drop. A course is considered dropped when a drop card is completed and returned to the Registrars Office. A student may not at any time withdraw from a course that is required for graduation in his or her option, without permission of the registrar. A student may not add a course after the last day for adding courses, or withdraw from a course after the last date for dropping courses, without the approval of the Undergraduate Academic Standards and Honors (UASH) Committee. Registration for added courses is complete when an add card, signed by the instructor and the students adviser, has been filed in the Registrars Office. No Undergraduate Information ----------------------- Page 18----------------------credit will be given for a course for which a student has not properly registered. The responsibility for submitting drop cards and add cards to the Registrars Office before the deadlines for dropping or adding courses each term rests entirely with the student. Failure to fulfill the responsibility because of oversight or ignorance is not sufficient grounds to petition for permission to drop or add courses after the deadline. It is the policy of the UASH Committee that no petitions for the retroactive dropping or adding of courses will be considered except under very extenuating circumstances. Humanities Drop Policy Students who do not attend the first class of the term will be automatically dropped from the class. Students who notify the instructor in advance of their inability to attend the first class may

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remain enrolled in the class at the instructors discretion. Summer Research or Summer Reading Qualified undergraduate students who are regular students at the Institute are permitted to engage in research or reading during the summer, but in order to receive academic credit the student must have the approval of his or her division and must complete the 145 registration process for such summer work before June 1. An undergraduate may not receive payment for research carried out for academic credit. Students who are registered for summer research or reading will not be required to pay tuition for the units. A student may apply up to 18 units of summer research per summer and 36 units in total toward Institute graduation requirements. The Institute recognizes that students may want to take advantage of paid internships that provide unique off-campus educational opportunities that integrate and enhance the classroom experience. Students are encouraged to explore and discuss such opportunities with their academic adviser and the dean or associate dean of students. If appropriate, the adviser and dean or associate dean can approve such internships as integral to a Caltech educational experience. There is no academic credit for such work. The internships should commence after the end of the third term and end prior to the resumption of classes in the fall. Undergraduate Student Sabbatical An undergraduate student sabbatical must be sought by written petition, which must be accompanied by a completed withdrawal card. The dean or associate dean of students may grant a sabbatical provided (a) the student is in good standing, in other words does not have to meet special academic requirements as a result of reinstatement, (b) the sabbatical is for one year or less, although special circumstances can be considered, and (c) the sabbatical extends over a period that includes at least one full term. Registration Regulations ----------------------- Page 19----------------------The dean or associate dean may also grant a leave for medical reasons provided the petition is recommended by the senior director of health and counseling services. Return from a leave for medical reasons also requires the recommendation of the senior director of health and counseling services, and the final approval of the dean or the associate dean. A student returning from a leave for medical reasons will maintain the same academic standing that he or she had previously. Involuntary Leave The dean of students may place a student on an involuntary leave if persuaded by the evidence that such action is necessary for the protection of the Institute community or for the personal safety or welfare of the student involved. The withdrawal card may state a specific date after which the student may return or it may be indefinite as to term. The dean of students may stipulate conditions that must be met before the student may return. These conditions

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might include a letter of recommendation from the senior director of health and counseling services. A decision by the dean to place a student on involuntary leave is subject to automatic review within seven days by the vice president for student affairs (or his or her designee). Withdrawal from the Institute Formal separation from the Institute is effected by filing a completed withdrawal card in the dean of students office to be forwarded to the registrar and other appropriate offices. The effective date of a withdrawal is entered by the dean or associate dean of students. A student leaving the Institute at any time during the term without filing a formal withdrawal card will not be considered withdrawn. In such a case, any grades reported by the instructors will be recorded on the official transcript, and the grade of F will be recorded for all other courses. A student who withdraws, or is absent for a term (or longer), without an approved undergraduate student sabbatical must petition for reinstatement to return to the Institute. Return from involuntary leave requires approval through the dean of students office. Reinstatement rules are listed under scholastic requirements. If the withdrawal occurs after Add Day of any term, a W (standing for withdrawn) will be recorded on the students transcript for all courses in which the student is enrolled. A grade of W is not included in the computation of the students grade-point average. The record will also indicate whether an undergraduate student sabbatical was granted. Undergraduate Information

----------------------- Page 20----------------------SCHOLASTIC REQUIREMENTS All undergraduates are required to meet certain scholastic standards as outlined below. Eligibility for Registration Eligibility to register is determined by the students record as of the first day of classes of the term in which registration is sought. Undergraduates who register for programs that make it appear that they are no longer candidates for a B.S. degree or who are not making satisfactory academic progress may be refused further registration by the Undergraduate Academic Standards and Honors (UASH) Committee. Freshmen are ineligible to register for subsequent terms if they have accumulated 24 or more units of E or F, exclusive of PE; if they have accumulated three or more course grades of E or F, exclusive of PE; if, in any term of their freshman year following a reinstatement, they obtain six or more units of E or F, exclusive of PE. 147 Ineligible freshmen must petition the UASH Committee for reinstatement if they wish to continue as students. The dean of students or associate dean may act on a petition if (i) it is the students first ineligibility and (ii) the student has received fewer than 42 units of E or F, exclusive of PE. For other petitions, action must be taken by the UASH Committee. Undergraduate students, except first- and second-term freshmen,

are ineligible to register for another term if they fail during any one term to obtain a grade-point average of at least 1.4, or if they receive 27 or more units of E or F, exclusive of PE, during any one term; if they fail to obtain a grade-point average of at least 1.9 for the academic year, or if they accumulate 45 or more units of E or F, exclusive of PE, over the academic year (students who have completed at least three full terms of residence at the Institute and have been registered for their senior year shall no longer be subject to the requirement that they make a grade-point average of at least 1.9 for the academic yearseniors must, however, receive a grade-point average of at least 1.4 and receive fewer than 27 units of E or F each term); if they have completed fewer than 36 units in the previous term and fewer than 99 units in the previous three terms in residence; if, once reinstated, they fail to complete a full load of at least 36 units in the following term with a grade-point average of at least 1.9. If a late grade makes a student ineligible after the start of the next term, the official transcript shall show the ineligibility and a reinScholastic Requirements ----------------------- Page 21----------------------statement. If the late grade is reported to the registrar before midterm deficiency notices are due for the subsequent term, the student shall be held to the requirement as above to complete a full load of at least 36 units with a grade-point average of at least 1.9. If a late grade received on or before the last day for adding classes makes a reinstated student eligible, the ineligibility and the reinstatement will be removed from the students record. No student ineligible to register on the first day of classes will be permitted to register unless a petition for reinstatement has been submitted and acted upon. Students ineligible for registration because of failure to meet the requirements stated in the preceding paragraphs may submit a petition to the UASH Committee for reinstatement, giving any reasons that may exist for their previous unsatisfactory work and stating any new conditions that may lead to better results. Each such petition will be considered on its merits. For the first such ineligibility, the petition may be acted on by the dean of undergraduate students, after consultation with the student and examination of the record. At the deans discretion, such cases may be referred to the UASH Committee for action. All subsequent reinstatements must be acted upon by the Committee. A second reinstatement by UASH will be granted only under exceptional conditions. Departmental and Option Regulations Selection of Option By the middle of the third term, freshmen must notify the Registrars Office of their selection of an option in engineering, humanities, social sciences, or science to be pursued in subsequent years. Upon the selection of an option, a freshman will be assigned an adviser in that option, whose approval must then be obtained for registration for the following year.

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Undergraduate students may request to add an approved minor to their program of study. The request for a minor must be approved by the option representatives of the students option and proposed minor. A plan must be presented which meets the minimum requirements for both the option and the minor, but the option representatives may impose additional requirements as well. The approved request must be submitted to the registrar before the start of the senior year. Undergraduate students may be allowed to major in two options for the Bachelor of Science degree. In order to do so the student must present a rationale for the double option and a plan of study leading to completion of the degree in four years. The plan, and any substantive modifications, must be approved by a committee composed of the option representatives of the two options. The plan must meet the minimum requirements for both options as set forth in this catalog, but the committee may impose Undergraduate Information ----------------------- Page 22----------------------additional requirements as well. The approved plan should be submitted to the registrar during the sophomore year, but in any case no later than the start of the senior year. The student will then be assigned an adviser by each option. Consult the registrar for appropriate procedures. Continuing in an Option Students whose grade-point averages are less than 1.9 at the end of an academic year in a specific group of subjects designated by their department or option may, at the discretion of their department, be refused permission to continue the work of that option. Such disbarment does not prevent the students from continuing in some other option or from taking additional courses to raise their average in their original option. Students without an option will fall under the direct jurisdiction of the dean of students. Students may remain without an option for no more than one year. Change of Option An undergraduate in good standing at the Institute shall be permitted to transfer into any option of his or her choice provided he or she has (a) a 1.9 GPA in subjects required for graduation in that option 149 or in a specific group of subjects designated by that option or (b) permission of the option representative or committee. A change of option is effected by obtaining a Change of Option petition from the Registrars Office. The completed petition must then be signed by the option representative for the new option (who will assign a new adviser), and filed with the Registrars Office. Institute regulations require that a student who has made normal progress at the Institute be able to change options at any time up to the end of the sophomore year without penalty either as to time until graduation or as to excessive unit requirements in any term. Term Examinations Term examinations will be held in all subjects unless the instructor in charge of any subject shall arrange otherwise. No student will be exempt from these examinations. When conflicts exist in a students schedule, it is the students responsibility to report the conflict to the instructor in charge of one of the conflicting examinations and

make arrangements for another time. Satisfactory Academic Progress A student will be declared ineligible to register if he or she has completed fewer than 36 units in the previous term and has completed fewer than 99 units in his or her three most recent terms in residence. Graduation Requirement To qualify for graduation a student must complete the prescribed work in one of the options with a passing grade in each required Scholastic Requirements ----------------------- Page 23----------------------subject and with a grade-point average of 1.9. A grade of F in an elective course need not be made up, provided the student has received passing grades in enough other accepted units to satisfy the minimum total requirements of the option. Candidacy for the Bachelors Degree A student must file with the registrar a declaration of candidacy for the degree of Bachelor of Science on or before the first Monday of November preceding the date on which he or she expects to receive the degree. All subjects required for graduation, with the exception of those for which the candidate is registered during the last term of his or her study, must be completed and the grade recorded by the second Monday of May preceding commencement. Graduation in the Normally Prescribed Time Any undergraduate student who fails to complete the requirements for graduation at the end of 12 terms must petition the Undergraduate Academic Standards and Honors Committee for approval to register for further work each term. 150 Requirement for a Second Bachelor of Science Degree Under exceptional circumstances, a student may be permitted to o receiv e return to study for a second Bachelor of Science degree. T this permission, the student must petition the Curriculum Committee. If the petition is approved, the student must then register for three consecutive terms of additional study, completing in each term at least 36 units, and must meet all the requirements for graduation in the second option. If additional time is needed to complete the degree, the student must also petition the Undergraduate Academic Standards and Honors Committee for an extension. A student admitted for a second Bachelor of Science degree in a particular option may not change to another option without first submitting a new petition to the Curriculum Committee and receiving the explicit approval of that committee. Graduation with Honor Students who have achieved a high scholastic standing or who have carried out creative research of high quality may be recommended to the faculty for graduation with honor by the Undergraduate

Academic Standards and Honors Committee. The Committee shall consider for graduation with honor those students who have achieved an overall grade-point average of 3.5 and others who, on the basis of exceptional creativity, have been recommended to the Committee by a faculty member or by a division or option of the Institute. Undergraduate Information ----------------------- Page 24----------------------Excess of or Fewer Than Normal Units (Overloads and Underloads) An overload is defined as registration for more than 54 units by an upperclassman or more than 51 units by a freshman. Classroom and laboratory courses are to be limited to 45 units for freshmen and the remaining six units should be used for frontier (pizza) courses, PE, PA, or research. An underload is registration for fewer than 36 units. A student who wishes to carry an overload in any term must obtain the approval of his or her adviser and of the dean or associate dean of students. Petitions for overloads will not be accepted later than the last day for adding classes in any term. Underloads for freshmen, sophomores, and juniors must be approved by the dean or associate dean. Seniors may take an underload by presenting for the registrars approval a senior underload petition and a course plan for graduation the following June, provided that the plan does not require an overload in any term. Allowance and Transfer of Credit Transfer of Credit from Other Institutions Regularly enrolled students who want to obtain credit for college courses taken elsewhere should have a copy of the transcript of 151 their work sent to the Registrars Office. The student should then obtain an Allowance of Credit form from the Registrars Office and take this, with the transcript, to the representative of the option in which credit is desired. Credit will be granted when this form, with the appropriate signatures, is returned to the office. Allowance of Credit in the Humanities and Social Sciences In general, Caltech students should fulfill Caltech course requirements by taking courses at Caltech. Students are expected to have a well-reasoned educational goal for taking classes elsewhere. The only exceptions are transfer students admitted to advanced standing. Credit for comparable work done at other institutions with similar academic standards is not granted automatically. Students who wish to take courses elsewhere (whether on leave, in the summer, or during the academic year) should consult, in advance, with the executive officer for the humanities or the executive officer for the social sciences, or their designees, to minimize any misunderstanding regarding the nature of credit they may receive. Upon completion of the course, the student must obtain an Allowance of Credit form from the registrar, obtain the signed approval of the executive officer, or his or her designee, for transfer credit, and return the completed form to the Registrars Office. The executive officers are the final authority in the allowance of credit. Guidelines and specific information about allowance of credit

are available from the Division of the Humanities and Social Sciences. Scholastic Requirements ----------------------- Page 25----------------------Other Allowances of Credit Except for transfer credit and credit based on Caltech placement exams upon admission, credit will not be granted for Caltech courses in which the student is not officially enrolled, except in special circumstances by arrangement with the instructor. Such arrangements must be approved by the Curriculum Committee, and the student must petition the Committee before the work is undertaken. UNDERGRADUATE EXPENSES For freshmen and transfer students applying for admission, there is a $65 application fee. This fee is nonrefundable. Housing contracts must be submitted to the assistant director of housing-occupancy by the date specified in the instructions accompanying the contract. Expense Summary 201112 152 General: General deposit ................................................. ...........$ 100.001 Orientation fee ................................................... ..............500.001 Tuition ......................................................... ...............36,387.00 $ 36,987.00 1 This charge is made only once during residence at the Institute. Other: Student fees ...................................................... ..........$ 1,317.00 Room (contract price) ............................................. ......6,570.002 Board (5 days/week) ............................................... .......5,106.00 Additional meal allowance (est.) .................................. .1,413.00 Books and supplies (est.) ......................................... ......1,323.00 Personal expenses (est.) .......................................... .......1,974.00 2 The housing/room rate is calculated based on the weighted average of all available undergraduate on-campus housing options. The tuition and fees charge for all students is payable in full before the first day of classes unless the student enrolls in the Direct Cost

Three Payment Plan through the Bursars Office. The fee to enroll in the plan is $25.00 per term. Enrollment in the Direct Cost Three Payment Plan must be completed by August 10, 2012. Fees are subject to change at the discretion of the Institute. Undergraduate Information ----------------------- Page 26----------------------Refunds and Fees Refunds and Repayments For all students, the institutional charges, e.g., tuition and room and board, will be prorated according to the amount of time the student spent in academic attendance before withdrawing from the Institute before the end of the sixth week of the term. These prorated charges will be compared to the payments received on behalf of the student, and the Institute will determine whether the student is entitled to a refund or owes additional funds to Caltech. For students receiving funds from federal Title IV, from Caltech, and/or from state programs, the Institute will follow federal and other applicable regulations to determine the amount of all program funds the student has earned at the time of withdrawal. In general, the amount of financial aid earned is based on the amount of time the student has spent in academic attendance. If the amount of aid disbursed to the student is greater than the amount the student has earned, unearned funds must be returned. If the amount the student was disbursed is less than the amount the student earned, the student will be eligible to receive a postwithdrawal disbursement. 153 Determining the Students Last Date of Attendance or Withdrawal Date: The Office of the Registrar is responsible for obtaining requests for withdrawal from the undergraduate or graduate dean and for processing official withdrawals. In order to calculate the refund or repayment, Caltech will establish the students withdrawal date. This date is one of the following: the date that the student began the withdrawal process prescribed by Caltech; the date the student otherwise provided official notification to the registrar (written or oral) of his or her intent to withdraw; the midpoint of the academic term if no official notification is provided; the date determined by the registrar if there are special circumstances (illness, accident, grievous personal loss); or the date the registrar determines the student has not returned from an approved student sabbatical or if the student does not qualify for a sabbatical. Academically Related Activities that Determine Academic Attendance: The Institute may use the last date of attendance at an academically related activity as the students withdrawal date. This may occur if a student begins the withdrawal process and then attends an academically related activity after that date. Caltech considers an academically related activity to include the following: attendance at a lab attendance at a lecture

Undergraduate Expenses ----------------------- Page 27---------------------- completing a quiz and/or test participation in a study session academic counseling session academic advisement session turning in a class assignment

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Determining the Return of Federal Funds: The Financial Aid Office and/or the Graduate Office will calculate the federal funds that must be returned to the appropriate federal accounts. If a student withdraws from the Institute prior to the first day of classes for the period of enrollment, Caltech will return 100 percent of the students federal financial aid in accordance with federal procedures, as well as Caltech and/or state grants or aid. If a student withdraws any time after the first day of classes for the period of enrollment, the Institute will perform the following: Determine the percentage of the payment period that the student completed. If the student completed more than 60 percent of the period, he or she earned 100 percent of the aid for the period. If the student completed 60 percent or less, the percentage of the period completed is the percentage of aid earned. This percentage is determined by dividing the number of days attended in the period of enrollment by the total days in the period. Apply the earned percentage to the amount of aid actually disbursed and the amount that could have been disbursed (earned aid). Subtract earned aid from aid that was actually disbursed. This results in the amount of unearned aid to be returned. The Financial Aid Office and/or the Graduate Office (as appropriate) will allocate the return of funds back to the student aid programs in the following order: 1. Federal Direct Unsubsidized Stafford Loan Program 2. Federal Direct Subsidized Stafford Loan Program 3. Federal Perkins Loan Program 4. Federal Direct PLUS Loan Program 5. Federal Pell Grant Program 6. Federal SEOG Program 7. Other Title IV programs Any remaining refund will be returned to the other state, institutional, or private student assistance utilized. Federal Work Study is not included in any of these calculations. Appeals on Refunds: Any questions or problems related to refunds should be directed to the Bursars Office. For further information on refunds and repayments, contact the Financial Aid Office, the Graduate Office, or the Bursars Office. Undergraduate Information

----------------------- Page 28----------------------Dropping a Course: A students financial aid package will be adjusted to reflect any tuition adjustment made by the Bursars Office as well as any other adjustments required by law or by the applicable fund

donor(s). In addition, students who are not enrolled full-time as of the last day to add courses will have their aid revised. Generally, students enrolling less than three-fourths time will have an increased work award. Additional information is available in the Financial Aid Office. Refund upon Withdrawal: When a student, for whatever reason, withdraws from Caltech during an academic term, a refund of tuition as well as room and board, if applicable, is calculated. The amount of refund is determined by how much of the term has elapsed. If the student is a recipient of student financial assistance, that assistance, if applicable, will be reduced as a result of his or her withdrawal. Recent federal legislation determines the amount of refund for recipients of federal Title IV student assistance. It is the purpose of this section to inform students of the financial implications of withdrawal. If the student is not a recipient of federal financial aid, the Institutes refund policy returns any refund of tuition or room and board first to the programs from which assistance has been 5 received (i.e., scholarships, Caltech gift assistance). Any amount remaining will then be returned to the student. The nonTitle IV portion will be distributed as appropriate, first to outside agencies, as required, then to the Caltech grant, scholarship, or loan, depending on the composition of the aid package. These distributions will occur as credits to the appropriate aid funds and charge(s) to the students Caltech account. If the student is the recipient of federal Title IV student assistance, any refund must then be applied first to the federal aid program(s) in the prescribed order listed on page 154. In the event that a students disbursed financial aid exceeds the direct costs on the students personal account, a credit balance will result. Withdrawal will result in the reversal or repayment of the resulting credit balance. General Deposit Each new student is required at his or her first registration to make a general deposit of $100, to cover possible loss and/or damage of Institute property. Upon graduation or withdrawal from the Institute, any remaining balance of the deposit will be applied to the students outstanding balance or refunded if there is no unpaid balance. Fees for Late Registration Registration is not complete until the student has enrolled in a program approved by his or her adviser and has paid tuition and other fees. A penalty fee of $50 is assessed for failure to register Undergraduate Expenses ----------------------- Page 29----------------------within five days of the scheduled dates. A $50 late penalty will be charged by the Bursars Office for failure to clear a past-due account within five days of the beginning of instruction. Honor System Matters Monies owed to the Institute resulting from a Board of Control decision may be collected through the Bursars Office, at the request of the dean of students.

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Special Fees Students taking the Summer Field Geology course (Ge 120 ab) should consult with the division about travel and subsistence arrangements and costs. Unpaid Bills All bills owed the Institute must be paid when due. Any student whose bills are past due may be refused registration for the following term. All undergraduate students with an outstanding bursars bill balance of $300 or more will have a hold placed on their registration for the subsequent term the day before online registration opens. The hold will be released once students have paid their bill at the Bursars Office. Official transcripts and diplomas will not be released until the bursar account is paid in full. Caltech ID Card Charges If an undergraduate student owes more than $300 at the end of the term, the students ID card will be deactivated on the seventh day of the following term and he or she will be unable to charge any new purchases. Cards will be reactivated once students have paid their bill at the Bursars Office. FINANCIAL AID Caltech believes that qualified students who wish to attend the Institute should not be prevented from doing so for financial reasons. Although the Institute expects students and families to finance the cost of education to the fullest extent possible, the Institute will make every effort to assist those who need help, including those whose financial circumstances change during the year. Demonstrated financial need is the difference between the annual cost of attending Caltech and the amount the student and parents can reasonably be expected to contribute toward those costs. Costs include actual tuition, student fees, room and board, an allowance for meals not covered in the board contract, books and supplies, and personal expenses. For U.S. citizens or eligible noncitizens who reside in the United States, Canada, Mexico, or Guam, costs Undergraduate Information ----------------------- Page 30----------------------include a travel allowance designed to (partially) offset the cost of two round-trips from a students home during the academic year, and a travel allowance based on airfare for two round-trips. Caltechs estimate of a familys ability to contribute is determined annually in accordance with nationally established guidelines. Eligibility for each type of assistance varies, depending upon the source of funds. Assistance offered by Caltech includes federal, state, and institutional grants, subsidized part-time jobs, and lowinterest loans. U.S. citizens or eligible noncitizens (as defined in the Free Application for Federal Student Aid [FAFSA]) may apply for state and federally funded programs. International students may apply for institutionally funded programs. Students should not wait to be accepted for admission to Caltech before applying for financial aid. With the exception of international students, applications for admission are evaluated separately from requests for financial aid. Students with complete financial aid applications on file will be considered for all applicable

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types of need-based assistance. A renewal application must be submitted each year. In addition to direct financial assistance, information is available, upon request, about education payment plans and financial-planning resources. (For information on non157 need-based scholarships and prizes, see pages 171180.) All students who believe they will need assistance to attend Caltech are encouraged to submit financial aid applications. The Financial Aid Office staff is happy to talk with students and their families at any time to explain the application process, Caltechs computations, and available programs. For further information on the determination of financial need and on application procedures, as well as on financial aid awards and programs, contact the Financial Aid Office, California Institute of Technology, Mail Code 20-90, Pasadena, CA 91125; call (626) 395-6280; or visit the Caltech Financial Aid Office website at http://www.finaid. caltech.edu. How to Apply for Financial Aid Slightly different procedures and deadlines exist for each category of students applying for financial aid. Detailed descriptions of these procedures and priority due dates for prospective and continuing students may be found on the Caltech Financial Aid Office website at http://www.finaid.caltech.edu. Application Pr ocess for Caltech and Federal Financial Aid for Entering Students (U.S. Citizens and Eligible Noncitizens) The following materials are needed to apply for all financial aid funds administered by the Caltech Financial Aid Office. We realize that you may not have access to your completed 2011 federal income tax information by the priority due dates and ask that you complete the application based on the best estimates available. Financial Aid ----------------------- Page 31----------------------CSS/Financial Aid PROFILE Application: Register for the 201213 CSS/Financial Aid PROFILE after October 1, 2011. Designate California Institute of Technology as one of the recipients by using Caltechs CSS Code, 4034. Due dates: Applicants must register for the CSS/Financial Aid PROFILE by December 15, 2011. Regular Decision applicants must submit the completed PROFILE application by January 15, 2012. Note: Early Action applicants must register for the CSS/Financial Aid PROFILE by October 15, 2011, and must submit the completed PROFILE application by November 15, 2011. Free Application for Federal Student Aid (FAFSA): The 201213 FAFSA will be available on January 1, 2012, at www.fafsa.ed.gov. File the FAFSA and designate California Institute of Technology as the recipient by using Caltechs Undergraduate Federal Code Number, 001131. Due date: February 1, 2012. Parents and Students Federal Income Tax Return: Parents and students must submit 2011 Federal Income Tax Returns (including all schedules and W-2s) before eligibility for financial aid can be determined. Applicants will be sent an e-mail

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from the College Board with instructions on how to submit their tax returns using the Institutional Documentation Service (IDOC). Log in to the IDOC site at https://idoc.collegeboard.com/idoc/ index.jsp, download and complete the IDOC cover sheet, and submit your 2011 federal income tax return, all schedules, all W-2 forms, and all other required documents directly to the College Board. If you or your parents own corporations, partnerships, or trusts, please include copies of those tax returns (Forms 1041, 1065, 1120, 1120S, K-1). If you or your parent(s) did not and will not file a federal income tax return, please complete the Parent or Student Certification of Nonfiling. Please attach copies of W-2 or 1099 forms (if applicable) to the Parent or Student Certification of Nonfiling. Use the IDOC Cover Sheet to submit this form and all other required documents directly to the College Board along with your IDOC cover sheet. Due date: March 2, 2012. Verification Worksheet: All students and parents must complete and sign the 201213 Verification Worksheet, available at www.finaid.caltech.edu/forms. Use the IDOC cover sheet to submit the appropriate worksheet directly to the College Board. Due date: March 2, 2012. Caltech Supplemental Application: All students must complete the 201213 Caltech Supplemental Application, available at www.finaid.caltech.edu/forms. Use the IDOC cover sheet to submit this form directly to the College Board. Due date: March 2, 2012. Undergraduate Information ----------------------- Page 32----------------------CSS Noncustodial PROFILE Application: If your parents are divorced, separated, or never married, your noncustodial parent will need to complete the 201213 CSS Noncustodial PROFILE Application. After your CSS/Financial Aid PROFILE application is processed, you will receive an e-mail from the College Board with instructions on how to submit this information. Once you have your login information, your noncustodial parent can access the application at https://ncprofile.collegeboard.com/ncpWeb/pageflows/Main/Ncp MainController.jpf. Due date: March 2, 2012. CSS Business/Farm Supplement: If you or either of your parents is self-employed or owns a business or farm, you will need to submit the 201213 CSS Business/Farm Supplement, available at the Caltech Financial Aid Office website. You will receive an e-mail from the College Board with instructions on how to submit this form and other required tax documents using the Institutional Documentation Service (IDOC). Log in to the IDOC site to get your IDOC cover sheet. Use the IDOC cover sheet to submit this form and all other required documents directly to the College Board. Due date: March 2, 2012. 159 Caltech Scholarship Data Form: Complete the 201213 Caltech Scholarship Data Form to be considered for named and endowed scholarships. Entering students will not be issued a Caltech ID numberrequired for the form until sometime in June 2012. Due date: July 15, 2012.

International Applicants If you are applying for admission as a freshman for the fall of 2012 and are not a citizen or permanent resident of the United States at the time of your application for admission, you will need to refer to the Caltech Financial Aid Office website at http://www.finaid. caltech.edu for instructions for applying for financial aid. International applicants who do not apply for financial aid by published deadlines, or who are denied aid for their first year at Caltech, are not eligible for need-based financial aid for any other academic period while they are undergraduates at the Institute (with the exception of citizens of Canada and Mexico). Those with financial aid offers will be eligible to apply for assistance in subsequent years. All eligible students must reapply for aid each year. International students are required to complete the CSS/Financial Aid profile. This online application has been modified to collect family income and asset information from international students. Students will need to register for the PROFILE service online at www.collegeboard.com by December 15, 2011, and indicate the college(s) to which they will be applying. (Students can also visit EducationUSA Advising Centers, which are located around the world, to register online.) Students will then Financial Aid ----------------------- Page 33----------------------receive a personalized PROFILE application at www.collegeboard.com that should be completed and submitted by February 1, 2012. Please refer to the complete application instructions provided on the Caltech Financial Aid Office website at http://www.finaid.caltech.edu. Types of Aid Available There are three basic categories of financial aid that may be awarded. 1. Grants and scholarships represent gift aid, which does not need to be repaid. In general, a Caltech scholarship is awarded based on financial need. Caltech named and/or endowed scholarships are considered to be based on need and merit. If you qualify for a state or federal grant, this grant would be included in your financial aid package. 2. Federal Work-Study or Caltech Work-Study represents student employment funds that have been allocated for you to earn during the academic year. Summer Caltech Work-Study represents funds that have been allocated for you to earn during the summer. While a work-study award is not a guarantee of employment, Caltech generally has more opportunities for student employment than it has students interested in working. 3. Low-interest educational loans: Students are generally offered Federal Perkins Loans or Caltech/Institute loans. Students may be awarded Federal Direct Stafford Loans if they request them. Caltech Scholarships Awarded to students with demonstrated financial need. Recipients are expected to be enrolled full-time. The named and/or endowed

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scholarships are also need-based, but many have a merit component. Recipients of named and/or endowed scholarships are often selected after their initial financial aid offer based on scholarshipspecific eligibility. These scholarships are almost always used to replace some or all of the recipients Caltech scholarship. The Financial Aid Office makes every attempt to renew these scholarships, contingent upon the recipients continuing to meet the specific eligibility criteria. Federal Grants Federal Pell Grant Awarded to exceptionally needy undergraduate students who are seeking their first bachelors degree. Amounts are set by the federal government based on need and enrollment status. In 201112, Undergraduate Information ----------------------- Page 34----------------------awards ranged from $555 to $5,550 for full-time students; awards for part-time students are set in proportion to their enrollment, i.e., three-quarter time, half-time, less than half-time. Recipients must be in good academic standing. Federal Supplemental Educational Opportunity Grant Awarded to undergraduates with demonstrated need who are seeking their first bachelors degree. Priority goes to full-time Pell Grant recipients. Recipients must be in good academic standing. Awards cannot exceed $4,000 per year. State Grants Cal Grant A Provides tuition and fee assistance to undergraduate California residents seeking their first bachelors degree. Awarded on the basis of cumulative grade-point average and financial need. Qualifying students can receive up to $9,708, renewable for up to four years. Continuing Cal Grant recipients must maintain good academic standing in addition to financial need. They are not required to resubmit verification of their grade-point average for renewal. 161 Cal Grant B Provides a living-allowance stipend and tuition/fee assistance to undergraduate California residents seeking their first bachelors degree. Awards are based on cumulative grade-point average and high financial need. Recipients are generally from disadvantaged economic or educational backgrounds. Awards for first-year students provide up to $1,551 for books and living expenses. When renewed or applied beyond the first year, awards also include tuition and fee assistance of up to $9,708. Continuing Cal Grant recipients must maintain good academic standing in addition to financial need. They are not required to resubmit verification of their grade-point averages for renewal. Other State Grants Other states, such as Pennsylvania, Vermont, and Rhode Island, may offer grant assistance to their residents who plan to attend

Caltech. Students are encouraged to contact their respective state post-secondary agencies for specific eligibility and renewal criteria. Educational Loans An educational loan is a serious financial obligation and must be repaid. You should carefully consider the repayment obligation before you accept educational loans. Loans can be an invaluable resource for many students and their families in financing a college education. Students can postpone paying a portion of their educaFinancial Aid ----------------------- Page 35----------------------tional costs until they complete their education or leave school. The repayment period on most loans can extend up to 10 years after graduation or leaving school. Graduating with educational debt is a fairly common experience for students. At Caltech, however, the average educational indebtedness at graduation is significantly lower than the national average for students attending four-year private and public colleges. Over the last several years, the average for Caltech graduates has been among the lowest in the nation for four-year colleges. Federal Perkins Loans Awarded to students based on financial need. The maximum amount an eligible student may borrow is $5,500 per award year if he or she has not successfully completed a program of undergraduate education ($8,000 per year for graduate students). The maximum aggregate amount that may be borrowed is $11,000 for any student who has not yet completed two years of undergraduate work; $27,500 for an undergraduate student who has completed two years of undergraduate work and is pursuing an undergraduate degree; and $60,000 for a graduate student, including loans borrowed as an undergraduate. The aggregate loan limits include only the unpaid principal. Perkins Loans carry an annual interest rate of 5 percent. Interest does not accrue while the borrower is enrolled in school at least half-time, during the grace period (the time before which the borrower must begin or resume repaying a loan), or during authorized deferments. The borrower is responsible for paying the interest that accrues on the loan during repayment or forbearance (a temporary postponement of payments). Loans are repayable over a period of up to 10 years and have a nine-month initial grace period. Your monthly payment amount will depend on the size of your debt and the length of your repayment period. The minimum monthly payment is $40. The William D. Ford Federal Direct Loan Program This program offers eligible students and parents the opportunity to borrow money directly from the federal government to help pay the cost of attendance at Caltech. The U.S. Department of Education makes loans, through Caltech, directly to students and/or parents. The Institute will use the loan(s) to pay your tuition/fees and other direct charges such as room and board, and give the student any remaining money for indirect costs. Students and/or parents make their repayments directly to the federal government. Direct loans include

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Stafford Loan Program; Parent PLUS Loan Program; Graduate PLUS Loan Program; and Consolidation Loan Program.

Undergraduate Information ----------------------- Page 36----------------------Federal Direct Stafford Loan There are two types of Fede